BY ORDER OF THE COMMANDER USTRANSCOM INSTRUCTION 90-19 UNITED STATES TRANSPORTATION COMMAND 5 MAY 2015 Command Policy DEFENSE BUSINESS SYSTEMS INVESTMENT MANAGEMENT COMPLIANCE WITH THIS PUBLICATION IS MANDATORY NOTICE: This publication is available electronically on the USTRANSCOM electronic library RELEASABILITY: There are no restrictions on release of this publication OPR: TCJ3 Certified by: TCJ3 (Maj Gen Rowayne A. Schatz, USAF) Pages: 12 Distribution: e-publishing This publication establishes Defense Business Systems (DBS) budget certification policies and procedures, and staff roles and responsibilities for United States Transportation Command (TRANSCOM) and its components (Air Mobility Command (AMC), Military Surface Deployment and Distribution Command (SDDC), and Military Sealift Command (MSC)). It applies to all who develop, review, approve, or manage systems designated as part of the Department of Defense (DOD) Business Mission Area (BMA) as recognized by the Deputy Chief Management Officer (DCMO). This publication pertains to TRANSCOM and Component (AMC, SDDC, and MSC) DBS with any type of funding executed under TRANSCOM acquisition authority. It implements the provisions of the National Defense Authorization Act (NDAA) for Fiscal Year 2012 United States Code (USC) Title 10 2222, Defense business systems: architecture, accountability, and modernization; applicable to this command. It also facilitates the policies in USC Title 10 2223, Information technology: additional responsibilities of Chief Information Officers; USC Title 10 2224, Defense Information Assurance Program; DOD Directive (DODD) 5000.01, The Defense Acquisition System; DOD Instruction (DODI) 5000.02, Operation of the Defense Acquisition System; DODD 7045.14, The Planning, Programming, Budgeting, and Execution (PPBE) Process; DODD 7045.20, Capability Portfolio Management; DODD 8000.01, Management of the DOD Information Enterprise; DODI 8115.02, Information Technology Portfolio Management Implementation; Office of Management and Budget (OMB) Circular A-130, Management of Federal Information Resources; and Chairman of the Joint Chiefs of Staff Instruction (CJCSI) 3170.01H, Joint Capabilities Integration and Development System. Statutory law, Federal, DOD or Joint Staff (JS) directives take precedence. Refer recommended changes and questions about this publication to the office of primary responsibility using Air Force Form 847, Recommendation for Change of Publication. Ensure all records created as a result of processes prescribed in this publication are maintained in accordance with USTRANSCOM Instruction (USTRANSCOMI) 33-32, USTRANSCOM Records Management Program. 1. References and Supporting Information. References, abbreviations, and acronyms used in this Instruction are listed in Attachment 1.
2 USTRANSCOMI 90-19, 5 MAY 2015 2. Purpose. 2.1. Purpose. This instruction implements direction from the TRANSCOM Pre-Certification Authority (PCA) regarding DBS budget certification obtained from the DOD DCMO. 2.2. Authority. In accordance with (IAW) USC Title 10 2222(f)(1)(D) the TRANSCOM Commander is designated by DCMO as the command s PCA. This authority, by direction of DCMO, may be delegated to another member of the command. 3. Scope. Topics under the purview of TRANSCOM DBS investment management and budget certification include: 3.1. Applicability. All TRANSCOM systems that have their DOD Information Technology (IT) Portfolio Repository (DITPR) DBS data element set to Yes must obtain DCMO certification before any funds are obligated. The PCA, advised by the Program Executive Office (PEO), designates which systems within the command are DBS. DITPR is the authoritative source DCMO uses to identify the component portfolio of DBS it will monitor. 3.2. Management. Some DBS are managed by personnel who are not on acquisition coded positions. Although DCMO refers to all government personnel who are the accountable leads for DBS as Program Managers, this instruction will use the term DBS Lead to refer to these individuals. The DBS Lead is responsible for providing capabilities that enable accomplishment of the TRANSCOM mission. The Mission Area Management (MAM) construct allows the DBS Lead to know what capability requirements are approved for development and sustainment, and what comprises the DBS budget. The planned DBS budget is provided to DCMO for review on an annual basis through an Organizational Execution Plan (OEP). The MAM Manager leads OEP preparation. The OEP requests DBS certification from the DCMO chaired Defense Business Council/Investment Review Board (DBC/IRB). The DBC/IRB process meets the statutory requirements (USC Title 10 2222) governing authorization to obligate funds for DBS. The MAM construct integrates requirements, recommends priorities, develops budget plans, and supports analysis of joint deployment and distribution processes; its manager is therefore uniquely suited to guide interactions with the DBC/IRB. 3.3. Collaboration. Preparation of TRANSCOM DBS certification requests requires teamwork. The span of topics DCMO directs the PCA to address is published annually in the DBS Investment Management Process Guidance. Normally this asks for information related to the DBS concerning: strategic alignment, life cycle, budget, Business Enterprise Architecture (BEA) compliance, Business Process Re-engineering (BPR) appropriateness, and risks and interdependencies. DCMO provides automated tools to facilitate identification of possible enterprise wide operational activity duplication. Addressing the span of topics involved requires a group effort, led by the MAM Manager, to successfully achieve the necessary certification. 3.4. Reporting. The annual OEP, once approved, is the PCA s basis for all subsequent actions involving DBS certified funds. It also reports to DOD evidence of TRANSCOM s Capital Planning and Investment Control (CPIC) efforts. Its preparation, review, submission, approval, and authorized revision are significant steps in enabling DBS capability contributions to the
USTRANSCOMI 90-19, 5 MAY 2015 3 TRANSCOM mission. The information reported by OEPs and DBS Problem Statements (IAW DODI 5000.02 Enclosure 12(4)) set DCMO expectations for investment outcomes examined by IRB close-out reviews required by DODI 5000.02 Enclosure 12(3)(b)(5). It also supports the reporting requirements of CJCSI 3170.01I for DBS identified by DCMO as having equity in the Warfighter domain. 4. Policy. It is TRANSCOM policy that: 4.1. Strategic Alignment. DBS certification products will show the closest possible alignment to the Functional Strategies identified by DCMO. The Functional Strategies derive from the Strategic Management Plan (SMP) DCMO publishes every two years. They are developed by the DOD business line owners, the Principle Staff Assistants (PSAs), and are the foundation for the Department s investment management process for DBS, providing functional area business initiatives, outcomes, measures, and standards. 4.2. Requirements Oversight. Any DBS requirement or business need statement information must be assessed by the appropriate Sub-MAM, reviewed by the MAM, and accepted by the designated Milestone Decision Authority (MDA). These TRANSCOM level reviews and approvals are completed prior to submission to the DBC/IRB for new system capability, major system enhancement, and/or modernizations where the total estimated fund certification request will exceed $250,000. 4.3. Budget Transparency. The TRANSCOM Oversight Council (TOC) will approve DBS budget data before certification requests are submitted to DCMO. This DBS budget data will match the information communicated by TRANSCOM to Office of the Secretary of Defense (OSD) through DOD authoritative financial information sources. These DOD authoritative sources include the DOD Select & Native Programming Data Input System for Information Technology (SNaP-IT) and the DOD Information Technology Investment Portal (DITIP). 4.4. Reporting Consistency. DBS certification requests will report IT compliance and statistical information consistent with similar information reported to other OSD elements. Preparation of the OEP and other certification products will include Subject Matter Expert (SME) checks to mitigate potential contradictions and explain factual data changes and refinements in collection methodology. TRANSCOM will maintain the highest level of data integrity regarding DBS certification information and ensure the command s reputation for credibility is preserved. 5. Procedures. 5.1. Relevance. The PCA is responsible for ensuring compliance with USC Title 10 2222 and DBS investment management policies prescribed by DOD and DCMO (e.g. the DBS Investment Management Process Guidance). IAW USC Title 10 2222(g) DCMO established the IRB and an investment management process to review the planning, design, acquisition, development, deployment, operation, maintenance, modernization, and project cost benefits and risks of DBS. The range of PCA responsibilities is relevant to DBS reported in DITPR for which TRANSCOM is identified as the lead component.
4 USTRANSCOMI 90-19, 5 MAY 2015 5.2. Certification. DBS certification is accomplished when the PCA submits to the DBC/IRB a Portfolio Certification Request (PCR). Efficiencies, functional strategy alignment, compliance assertions, and additional required information of the DBS listed by the PCR are detailed by the OEP and amplifying certification products as needed. DCMO staff analyzes the OEP and certification products to determine if they substantiate the DBS certification requested by the PCR. The DBC/IRB weighs the DCMO staff s evaluation, any reclama from the component, and comments from its constituent members as it votes on the PCR. With favorable consideration, the DBC/IRB recommends the DBS Management Committee (DBSMC) authorize DCMO to issue an Investment Decision Memorandum (IDM) to the component. Ultimately TRANSCOM receives an annual fiscal year IDM which states the approved DBS certification ceiling data, and identifies any conditions. DCMO expects TRANSCOM will use the IDM to support fund distribution documentation with OSD and resolve conditions as soon as possible. Figure 4.2 General OEP Time Line From Preparation through DBS Fund Certification 5.3. Fund Distribution. The ultimate outcome of the DCMO investment management process is the component s ability to conduct fund distribution to DBS. Without fund distribution Contracting Officers (KO) are unable to award contracts for the DBS, so there is a direct link between DBS certification and the Command remaining operational. Contract award also requires fund distribution of the right type of resources. The DBS engaged in development or modernization require Capital dollars. DCMO will only certify Capital funding if the DBS involved has an IRB approved problem statement. The problem statement is a stand-alone subset of the DBS s Business Case that supports the MDA s Materiel Development Decision (MDD) as well as its budget certification. The inter-connection between finance, acquisition, portfolio management, operations, and IT can be complex for DBS, yet the demand for fund distribution is unavoidable. Consequently, the command is best served when those involved in DBS certification have a broad understanding of the full spectrum of enterprise roles and responsibilities.
USTRANSCOMI 90-19, 5 MAY 2015 5 5.4. Adjustments. The DBC/IRB process does not replace policy or instructions related to the Defense Acquisition System (DAS, DODD 5000.01, DODI 5000.02, and DODD 5105.79) or the Planning, Programming, Budgeting, and Execution (PPBE, DODD 7045.14) process. Rather, it is intended to work in concert with those activities to enable operational flexibility. DCMO recognizes operational requirements are not static and allows for revisions to the annual OEP that adjust DBS certification through an Out-Of-Cycle (OOC) process. The revised OEP and any amplifying certification products must state the new operational need and mission impact to warrant the additional expense. Similar to an initial annual OEP submission, the increase OOC package requires DCMO staff review, favorable DBC/IRB recommendation, DBSMC authorization, and an IDM update from DCMO before it is approved. 5.5. Assignments. TRANSCOM entities having Office of Primary Responsibility (OPR) duties to collect, assess, record, or report DBS certification products are permitted to conduct data calls for relevant information. This may be done using the command s preferred task management system to ensure clarity and establish deadlines. 6. Roles and Responsibilities. These roles and responsibilities are DBS certification related functions and are consistent with, but may not be specifically identified in, USTRANSCOMI 90-9, Roles and Functions. 6.1. Commander. The TRANSCOM Commander is the principle PCA and IAW USTRANSCOMI 90-6 chairs the TCB. Nothing in this Instruction limits, or is intended to limit, the Commander s statutory or regulatory authorities. 6.2. Deputy Commander. The TRANSCOM Deputy Commander (TCDC) is authorized to act as the PCA and sign PCRs. TCDC IAW USTRANSCOMI 90-6 serves on the TCB and chairs that body in the Commander s absence. 6.3. Chief of Staff. The TRANSCOM Chief of Staff IAW USTRANSCOMI 90-6 chairs the TOC. 6.4. Component Commands shall: 6.4.1. Have representation IAW USTRANSCOMI 90-6 on the TCB through their Commanders and on the TOC through Command Representatives. 6.4.2. Validate the accuracy and completeness of investment management information within the certification products the PCA provides to the DBC/IRB for DBS under their control. 6.5. Functional Sponsor(s) shall: 6.5.1. Represent user community interests, and support the DBS Leads by developing appropriate Problem Statements if required and ensuring BPR products conform to DCMO guidance. 6.6. TCAQ shall:
6 USTRANSCOMI 90-19, 5 MAY 2015 6.6.1. Validate the accuracy and completeness of acquisition related information within the certification products the PCA provides to the DBC/IRB for DBS under PEO control. 6.6.2. Provide acquisition and PEO SMEs to aid DBS Lead, OPR, Sub-MAM, and MAM Manager efforts to analyze requirements, identify strategic alignment, and report metrics for DBS. 6.6.3. Supply acquisition governance expertise related to life cycle events, contract award, and in collaboration with TCJ8, budget execution for DBS. 6.6.4. Support DBS Lead, Sub-MAM, and MAM Manager work to provide the MDA and DBC/IRB with a close-out review when a DBS increment is fully deployed. 6.7. TCJA shall: 6.7.1. Validate the adherence to legal requirements of DBS related products as needed to support certification through the DBC/IRB. 6.8. TCJ1 shall: 6.8.1. Validate the accuracy and completeness of DBS human resource related information as needed to support certification through the DBC/IRB. 6.9. TCJ3 shall: 6.9.1. Validate the accuracy and completeness of operational information within the DBS certification products the PCA provides to the DBC/IRB. 6.9.2. Serve as the command s Chief Operations Officer (COO) IAW USTRANSCOMI 90-9, and IAW USTRANSCOMI 90-6 appoint a MAM Manager to supervise the DBS portfolio. 6.9.3. Make recommendations, through the MAM Manager in collaboration with TCJ8 and the Sub-MAMs, to the TCB, TOC, and PCA regarding DBS certification needs. 6.9.4. Provide interpretation and guidance, through the MAM Manager in collaboration with TCJ5/J4, regarding operational needs in the context of the SMP and Functional Strategies. 6.9.5. Appoint an IRB Team Lead to assist the MAM Manager with the coordination, synchronization, and integration of DBS certification products. 6.9.6. Facilitated by the MAM Manager and IRB Team Lead, staff DBS certification products through Components and Directorates to ensure the PCA provides the DBC/IRB with information that has stakeholder concurrence. 6.10. MAM Manager shall:
USTRANSCOMI 90-19, 5 MAY 2015 7 6.10.1. Lead preparation and review of DBS certification products, serve as principle point of contact for the PCA, and be prepared to present DBS information to the DBC/IRB as needed. 6.10.2. Oversee the role of the IRB Team Lead in identifying DCMO published governance, handbook, and guide material, disseminating that information to appropriate OPRs and stakeholders throughout the enterprise, and fusing PCR, OEP, and OOC products. 6.11. Sub-MAMs shall: 6.11.1. Validate the accuracy and completeness of information in the certification products the PCA provides to the DBC/IRB for the DBS within their mission area. 6.11.2. Lead coordination and review of certification products for DBS within their mission area, and serve as the principle conduit of information to the MAM Manager. 6.12. TCJ5/J4 shall: 6.12.1. Validate the accuracy and completeness of strategic alignment information within the DBS certification products the PCA provides to the DBC/IRB. 6.12.2. Identify an OPR to support the MAM Manager with analysis of relevant DBS strategic guidance provided by DOD, DCMO, and the Command. This strategic guidance information includes the National Security Strategy, the SMP, the Functional Strategies, the USTRANSCOM Strategic Plan, the USTRANSCOM Operations Order Strategic Architecture, the USTRANSCOM Data Strategy, and other pertinent documents. 6.12.3. Make recommendations to the PCA, in collaboration with the MAM Manager and the Sub-MAMs, on how to portray the appropriate DBS portfolio and strategic alignment to the DBC/IRB. 6.13. TCJ6 shall: 6.13.1. Serves as the command s CIO IAW USTRANSCOMI 90-6. 6.13.2. Verify the accuracy and completeness of NDAA compliance information within the DBS certification products the PCA provides to the DBC/IRB. 6.13.3. Identify an OPR to support the MAM Manager by managing, collecting, assessing, reconciling, and reporting relevant DBS Lead provided BEA information, to meet the intent of DODI 5000.02 tables 2 and 9, and as directed by DCMO using their tools in collaboration with DBS Leads and Component Stakeholders, to substantiate the PCA s DBS certification requests. 6.13.4. Identify an OPR to support the Functional Sponsor by assessing relevant DBS Lead provided BPR information, as directed by DCMO.
8 USTRANSCOMI 90-19, 5 MAY 2015 6.13.5. Identify an OPR to support the MAM Manager by managing, collecting, assessing, reconciling, and reporting, through DITPR, relevant DBS Lead provided mandatory data element information, as defined by DCMO, to substantiate the PCA s DBS certification requests. 6.14. TCJ8 shall: 6.14.1. Validate the accuracy and completeness of financial and budget information within the DBS certification products the PCA provides to the DBC/IRB. 6.14.2. Identify an OPR to support the MAM Manager by managing, collecting, assessing, reconciling, and reporting through DITIP, relevant DBS certification information as defined by DCMO to substantiate the PCA s DBS certification requests. 6.14.3. Identify an OPR to support the MAM Manager by managing, collecting, assessing, reconciling, and reporting, through SNaP-IT, relevant DBS budget data as directed by DCMO to substantiate the PCA s DBS certification requests. ROWAYNE A. SCHATZ Major General, U.S. Air Force Director of Operations and Plans 2 Attachments 1. Glossary of References and Supporting Information 2. Tools and Templates
USTRANSCOMI 90-19, 5 MAY 2015 9 Attachment 1 GLOSSARY OF REFERENCES AND SUPPORTING INFORMATION References USC Title 10 2222, Defense business systems: architecture, accountability, and modernization DODI 5000.02, Operation of the Defense Acquisition System CJCSI 3170.01H, Joint Capabilities Integration and Development System DCMO DBS Investment Management Process Guidance DOD Business Enterprise Architecture: Compliance Guide DOD Business Process Reengineering Assessment Guidance USTRANSCOMI 90-6, Corporate Governance Process USTRANSCOMI 90-9, Roles and Functions Abbreviations and Acronyms ACART AMC BC BCA BCL BCS BEA BMA BPR CCA CDD CGP CIO CJCSI CMP CO COO COTS CPIC DAS DBC DBC/IRB DBS DBSMC DCMO DITIP DITPR DOD DODD DODI DOD AF Architecture Compliance and Requirements Traceability tool Air Mobility Command Business Case Business Case Analysis Business Capability Lifecycle BEA Compliance System Business Enterprise Architecture Business Mission Area Business Process Reengineering Clinger-Cohen Act Capability Development Document Corporate Governance Process Chief Information Officer Chairman Joint Chiefs of Staff Instruction Configuration Management Plan Contracting Officer Chief Operations Officer Commercial-Off-The-Shelf Capital Planning and Investment Control Defense Acquisition System Defense Business Council Defense Business Council / Investment Review Board Defense Business System(s) Defense Business Systems Management Committee DOD Deputy Chief Management Officer DOD Information Technology Investment Portal DOD Information Technology (IT) Portfolio Repository Department of Defense Department of Defense Directive Department of Defense Instruction DOD Architecture Framework
10 USTRANSCOMI 90-19, 5 MAY 2015 DPO EA ETP FISMA FM FMR FOUO FYDP IAM IAW IBF IBF-DAP IDM IGCE IMS IOC IPL IPT IPR IRB ISP IT ITS J&A JDDA-E JROC JS KPP LCCE MAM MDA MDD MSC NDAA NSS OEP OMB OOC OPORD OPR OSD PCA PCR PEO PEO-T POA&M Distribution Process Owner Economic Analysis Enterprise Transition Plan Federal Information Security Management Act Financial Management DOD Financial Management Regulation For Official Use Only Future Year Defense Plan Information Assurance Manager In Accordance With Integrated Business Framework Integrated Business Framework Data Alignment Portal Investment Decision Memorandum Independent Government Cost Estimate Integrated Master Schedule Initial Operational Capability Integrated Program List Integrated Product Team In-Process Review Investment Review Board Information Support Plan Information Technology Information Tool Suite Justification and Approval Joint Deployment and Distribution Architecture Enhanced Joint Requirements Oversight Council Joint Staff Key Performance Parameter Life Cycle Cost Estimate Mission Area Manager Milestone Decision Authority Materiel Development Decision Military Sealift Command National Defense Authorization Act National Security System Organizational Execution Plan Office of Management and Budget Out-Of-Cycle Operational Order Office of Primary Responsibility Office of the Secretary of Defense PreCertification Authority Portfolio Certification Request Program Executive Officer Program Executive Office USTRANSCOM Plan of Action and Milestones
USTRANSCOMI 90-19, 5 MAY 2015 11 POM Program Objective Memorandum PPBE Planning, Programming, Budgeting & Execution PSA Principle Staff Assistant PWS Performance Work Statement QASP Quality Assurance Surveillance Plan RDT&E Research, Development, Test & Evaluation ROM Rough Order of Magnitude SDDC Military Surface Deployment and Distribution Command SECDEF Secretary of Defense SME Subject Matter Expert SMP Strategic Management Plan SNaP-IT DOD Select & Native Programming Data Input System for IT SOW Statement of Work TCAQ Acquisition Directorate, USTRANSCOM TCB Transportation Corporate Board TCDC USTRANSCOM Deputy Commander TOC USTRANSCOM Oversight Council TRANSCOM United States Transportation Command USC United States Code USD(AT&L) Undersecretary of Defense for Acquisition, Technology, and Logistics USTRANSCOM United States Transportation Command USTRANSCOMI United States Transportation Command Instruction WBS Work Breakdown Structure Terms This section not used.
12 USTRANSCOMI 90-19, 5 MAY 2015 Attachment 2 TOOLS AND TEMPLATES TOOLS 1. DCMO (DCMO s Public Website): http://dcmo.defense.gov/ 2. Problem Statement Portal Link: https://dcmo.osd.mil/coi/ps/pps/sitepages/home.aspx 3. Business Enterprise Architecture (BEA): http://dcmo.defense.gov/products-and-services/business-enterprise-architecture/ 4. Business Process Reengineering (BPR): http://dcmo.defense.gov/products-and-services/business-process-reengineering/ 5. Strategic Management Plan (SMP): http://dcmo.defense.gov/publications/strategic-management-plan.html 6. Integrated Business Framework (CAC-registered users only): https://dcmo.osd.mil/coi/ibf/default.aspx 7. Integrated Business Framework Data Alignment Portal (IBF-DAP): https://bea-etools.osd.mil/ee/request/home DOD Authoritative Data Sources 8. DOD Information Technology Portfolio Repository (DITPR): https://ditpr.dod.mil/dodcio/ditpr/menuditpr.cfm 9. DOD Information Technology Investment Portal (DITIP): https://snap.cape.osd.mil/itportal/ 10. DOD Select & Native Programming Data Input System for IT (SNaP-IT): https://sanp.cape.osd.mil/snapit TEMPLATES 1. Enterprise Transition Plan (ETP): https://dcmo.osd.mil/coi/etp/fy14/sitepages/etp-fy14.aspx 2. End-to-End Business Process Integration Framework: http://dcmo.defense.gov/products-and-services/end-toend/finaldode2eintegrationframework051713.pdf